Sr Analyst, AML Assurance

Job Overview

The AML Assurance Senior Analyst reports to the AML Assurance Manager and will be responsible for assisting in providing AML program management oversight for LPL Financial and its affiliate, PTC, a trust company. The Senior Analyst is primarily responsible for conducting quality assurance reviews across the Anti‑Money Laundering, Fraud, and Office of Foreign Assets Control (OFAC) programs to drive consistency and validation of the associated processes, controls, and procedures for various operational teams.

These reviews help drive firm‑wide compliance with the BSA, USA PATRIOT Act, OFAC and other guidance as published by the SEC, FINRA, and FinCEN. Additional responsibilities may include special project work, metrics reporting, and supporting other FRAML or Compliance initiatives.

• Day‑to‑day management and execution of assigned quality assurance reviews.
• Recognize and recommend enhancement opportunities within AML, Fraud, and OFAC functions through trends and patterns for Customer Identification Program (CIP), Customer Due Diligence, Transaction Monitoring, Ongoing Due Diligence, Investigations, and Private Trust Company (PTC).
• Assist AML Assurance Management with the development and execution of Assurance review summary reports to the Chief AML Officer.
• Collaborate with departments outside of FRAML to pull Assurance data, develop methodology, and create metrics for reporting.
• Assist with Assurance team training, lead presentations to the Assurance team or partners, and represent the Assurance team in meetings.

• Bachelor’s Degree and/or post graduate experience.
• Minimum 3‑5 years of Financial Crimes and/or Anti‑Money Laundering experience.
• High level of analytical and problem‑solving skills.
• Strong PC skills (Microsoft Office with emphasis on Excel and PowerPoint).
• Excellent written and verbal communication skills.
• Strong judgment and ability to present information in varying degrees of detail and form depending on the audience.
• Good critical thinking and decision‑making skills.
• Attention to detail and quality assurance.
• Proven ability to build strong partnerships with colleagues internally and externally, desire to learn quickly, be flexible and think strategically.
• Ability to multi‑task, work well under pressure with commitment to deliver under tight deadlines.

• Working knowledge of Anti‑Money Laundering rules and regulations within the brokerage industry.
• Prior quality control or quality assurance working experience.

$76,323.00 - $

401(k) matching, health benefits, employee stock options, paid time off, volunteer time off, and more as part of the LPL Total Rewards package.

Principals only. EOE.